Carol Henry Prata
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carol Henry Prata, who also goes by Carol Ann Henry, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2003. Carol had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2005 - October 13, 2006
HOLLANDER ASSET STRATEGIES
July 23, 2003 - December 31, 2012
FINANCIAL WEST GROUP
June 16, 2003 - December 31, 2012
FINANCIAL WEST GROUP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
